Outsourced Chief Compliance Officer
Institutional-grade compliance leadership tailored to your advisory firm, without the cost of a full-time executive.
As your Outsourced Chief Compliance Officer, NextReg provides day-to-day oversight, strategic guidance, annual reviews, Marketing Rule support, regulatory filings, and readiness for exams. We act as your firm's compliance leader, handling the ongoing responsibilities required to maintain a strong, documented, and exam-ready program.
What We Cover
Regulatory Oversight
Full CCO responsibility and oversight of your compliance program.
Policies & Procedures
Develop and maintain comprehensive compliance manuals and written supervisory procedures.
Annual Compliance Review (Rule 206(4)-7)
Conduct thorough annual compliance reviews as required by SEC regulations.
Staff Training & Support
Regular compliance training for your team and ongoing support for day-to-day questions.
Marketing & Advertising Review
Marketing Rule compliance, advertisement review, and performance presentation oversight.
Regulatory Filings & Registrations
Manage Form ADV updates, state registrations, and all required regulatory filings.
How We Work With You
We integrate directly with your leadership and operations teams.
We manage the full compliance calendar and recurring tasks.
We provide fast, clear answers to compliance questions.
We maintain documentation and testing so you stay exam-ready.
We use modern tools to organize, track, and automate your compliance workflows.